Posts By: Ronan Brennan

Are Investment Managers Going to Have More KIDs?

Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers. The complications and stress of Brexit just got a whole lot more real for many UK- and EU-based investment management companies that are subject to rules requiring production of UCITS KIID (Key-Investor-Information-Document) and PRIIPs KID … Continued

The Regulatory Road, Part II: The Path Less Traveled

Investment managers often choose between a tactical or strategic approach to regulation. Tactical responders typically handle each new regulation separately, while strategic firms take a more holistic approach to compliance. Firms that choose a strategic response where all reporting is handled by a centralized team or single vendor see increased efficiency, simplified workflows, and a … Continued

The Regulatory Road, Part 1: Strategic vs. Tactical

A strategic approach to regulation in the investment industry is frequently championed in financial news articles and blogs. The majority of these missives urge investment firms to reconsider the traditional, tactical approach to compliance that results in a web of vendors and responses to regulatory reporting requirements. Firms that respond tactically to regulation handle each … Continued

2018’s Chief Compliance Officer

A key message we picked up at a recent conference was how the role of the Chief Compliance Officer (CCO) has changed dramatically in progressive buy-side firms. Think about how historically the role of the Chief Financial Officer (CFO) was belittled and marginalized with throwaway descriptions of bean-counters. Not too long ago, similar descriptions of … Continued

Cyber Threat – Why the Best Defenders are Often the Worst Responders

The firms with the best and most pro-active cyber defenses are often the worst responders if their defenses are actually breached. Why so? Because a breach is new to them and they are immediately thrown off-kilter by the attack, unless of course, they have rigorous and frequent table-top exercises to prepare for such situations. So … Continued

MiFID II and PRIIPs Data Quality-Priority #1

In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms N-PORT and N-CEN for two key reasons: these are public filings, and there are consequences to late or erroneous filings.” Not surprisingly, the same could also be said for the wave of European regulation due … Continued

Cherish Your Regulatory Data

It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view their regulatory data as an asset. Firms with a strategic approach view regulation as a common thread impacting all of their peers market-wide, and so look for the opportunity in their response, as opposed to … Continued


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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.


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